STATEMAP Technical (Final) Report

UNITED STATES DEPARTMENT OF THE INTERIOR

U.S. GEOLOGICAL SURVEY

-- STATEMAP --

The State Component of the

National Cooperative Geologic Mapping Program

Authorized by The National Geologic Mapping Reauthorization Act of 2009

(Public Law 111-11)

PROGRAM ANNOUNCEMENT No. G16AS0000X

For Fiscal Year 2016

ISSUE DATE: September 9, 2015

CLOSING DATE & TIME:

November 9, 2015 @ 3:00 p.m. EST

PLEASE READ THE ENTIRE ANNOUNCEMENT CAREFULLY AND NOTE ANY CHANGES

Paperwork Reduction Act Approval – OMB control number 1028-0088, Expiration Date 08/31/2015

TABLE OF CONTENTS

TABLE OF CONTENTS …………………………………………………………..…….. i

LIST OF ATTACHMENTS …………………………………………………………..….. i

PROGRAM ANNOUNCEMENT CHANGES………………………………………….. ii

PART I. Public Law, Program Priorities, and Geologic Map Products …………….…. 1

1. The National Geologic Mapping Act …………………………………….…. 1

2. STATEMAP Component of the NCGMP …………………………………... 1

3. STATEMAP Proposals …………………………………………………..….. 1

4. Geologic Map Products …………………………………………………….... 2

PART II. Timetables, Eligibility, Format Instructions, and Proposal Evaluation ……..… 3

1. Timetables ………………………………………………………………….… 3

2. Eligibility – Who May Submit a Proposal ………………………………........ 3

3. Proposal Format Instructions ………………………………………………… 4

4. Proposal Evaluation ………………………………………………………….. 10

PART III. Proposal Delivery and Submission Instructions …………………………….. 11

PART IV. General Provisions ………………………………………………………….. 11

1. General Provisions of the National Cooperative Geologic Mapping Program... 11

2. Office of Management and Budget (OMB) Circulars …………………………12

3. Publication …………………………………………………………………….12

4. Funding ………………………………………………………………………..13

LIST OF ATTACHMENTS

Proposal Submission Forms and their Instructions

1. STATEMAP Proposal Summary Sheet

2. Statement of Outcome

3. Budgets Sheets (for both entire proposal and individual projects)

4. Terms and Conditions

Form required at the end of the project period (form is online only)

5. Standard Form 425 – Federal Financial Report (submitted through FedConnect); form is available online at http://www.whitehouse.gov/omb/grants_forms/

PROGRAM ANNOUNCEMENT CHANGES

Special Terms and Conditions

Please review the revised Terms and Conditions, Attachment D, beginning on page 21.

PART I. Public Law, Program Priorities, and Geologic Map Products

A. The National Geologic Mapping Act

The 102^nd Congress recognized that the USGS and the State Geological Surveys needed a coordinated program to prioritize the geologic mapping requirements of the Nation, and to increase production of these geologic maps. The National Geologic Mapping Act (Public Law 102-285) was signed into law in 1992 and created the National Cooperative Geologic Mapping Program. The Act has been re-authorized three times since then, most recently by the 111^th Congress in 2009 (Public Law 111-11, sec. 11001). The Act recognizes that geologic maps are the primary database for virtually all applied and basic earth-science investigations. To read copies of the original act and the two reauthorizations, visit: http://ncgmp.usgs.gov/about/

The objectives of the National Cooperative Geologic Mapping Program (NCGMP) as outlined in the Act are to:

1. Determine the Nation’s geologic framework through the systematic development of geologic maps; such maps will contribute to the National Geologic Map Database.

2. Develop complementary national databases (e.g., geophysical and paleontologic databases) that provide value-added information to the National Geologic Map Database.

3. Apply cost-effective mapping techniques that assemble and disseminate geologic-map information, and that render such information of greater application and benefit to the public.

4. Develop public awareness of the role and application of geologic-map information to the resolution of national issues of land use management.

For more information about the future goals of the NCGMP, our NCGMP 5-Year Plan is available at:

http://ncgmp.usgs.gov/about/

B. STATEMAP Component of the NCGMP

The primary objectives of the STATEMAP component of the NCGMP are to establish the geologic framework of areas determined to be vital to the economic, social, or scientific welfare of individual States. The State Geologist shall determine mapping priorities in consultation with a multi-representational State Mapping Advisory Committee. These priorities shall be based on: a) state requirements for geologic-map information in areas of multiple-issue need or areas of compelling single-issue need, and b) State requirements for geologic-map information in areas where mapping is required to solve critical earth-science problems. Priorities are not dependent on past agreements with the USGS.

C. STATEMAP Proposals

Only one proposal will be accepted from each State each fiscal year. Proposals may contain a number of geologic mapping projects and may include one compilation or digitization project. Or, all projects may be for new mapping if the State chooses. The emphasis of the program is on new geologic mapping in the field. It is recommended that states submit no more than 4 projects total. Projects may contain one or multiple quadrangles in an area. Each project should: (1) be clearly defined and justified, (2) be organized around a credible issue or area to be mapped, and (3) show a 1:1 Federal/State funding match. A graphic or index map showing the project areas should be included in the proposal. While geologic mapping projects may take more than one year to complete, a completely new proposal subject to full review must be submitted each year. The STATEMAP Proposal Evaluation Panel will recommend a funding level for the entire proposal. The evaluated strength and quality of proposals will be considered in making funding decisions. If full funding is not granted, an applicant is required to submit to the STATEMAP Program Officer and Grant Specialist a revised form SF 424, revised summary sheet, revised budget sheets, and revised deliverables if they will change, limited to the projects and amount recommended for funding. Alternatively, an applicant can decline to participate in the program.

In fiscal year 2016 the National Cooperative Geologic Mapping Program may receive funding for hydraulic fracturing and water related studies and mapping. If funds become available, they may be awarded to those STATEMAP and FEDMAP projects that most directly contribute to the goals of USGS STATEMAP and hydraulic fracturing programs. We welcome a statement on how future or ongoing projects can contribute to these important national priorities. In the Introduction Section of your STATEMAP proposal, please add no more than a one page discussion about how your State could contribute.

D. Geologic Map Products

A geologic map is defined as a map that depicts the geographic distribution at the Earth’s surface of bedrock and/or surficial geologic materials and structures, on a published base map showing topography, hydrography, culture, cadastral, and other base information. Digital geologic maps may also contain a great variety of point data for specific sites, creating a 3-dimensional database. A geologic map should include: (1) a clear and legible base (include base map credit and map projection), (2) scale and contour interval, (3) north arrow and magnetic declination, (4) title, authorship, publisher, and date, (5) location index map, (6) field data or field data stations, (7) description of map units, (8) explanation of map symbols, and (9) unit symbols on map. A geologic map may also include correlation or sequence of map units, stratigraphic columns, cross sections, and text.

Two types of geologic map products are acceptable to the STATEMAP Program. One is for new geologic mapping and one is digital map compilation. New geologic mapping should be done at a scale of 1:24,000, 1:25,000, or at scales deemed appropriate for the geologic problem being solved. In States where base maps are available at smaller scales, 1:50,000 or 1:100,000 may be most appropriate. Map scales should be between 1:24,000 and 1:100,000 scale. The result envisioned for the digital compilation project is a 1:100,000 scale digital geologic map that will eventually become part of the State database and the National Geologic Map Database. Note: Exceptions will be made where base maps of 1:100,000 scale are generally not available, e.g., Alaska, or where the State Mapping Advisory Committee authorizes another scale.

All STATEMAP deliverables are to be delivered as a high quality digital Portable Document Format (PDF or GeoPDF) files. At the end of an awarded cooperative agreement period of performance, a digital version of your STATEMAP deliverable(s) is required to be transmitted either by mail to the STATEMAP Program Officer at the address on page 23 or electronically. Current options for delivery are by CD/DVD media via mail, FTP, DropBox, or email for smaller files. Deliverables may be in review and not final products; however, they must include the parts of a geologic map listed above. If the map is not yet published, the final updated published map (as an open-file or formal series) must be available through the means above to the STATEMAP Program Officer as soon as it is released.

Guidelines for Digital STATEMAP Products

The USGS provides a Guideline for Digital STATEMAP Products and to the extent feasible we encourage adherence to these guidelines found at: http://ngmdb.usgs.gov/Info/standards/dataexch/STATEMAPguidelines.html. Please note that the Guidelines (formally adopted by the Association of American State Geologists in 2002) address the general format of digital maps submitted to STATEMAP, and are not strict requirements. In addition, the use of the FGDC Digital Cartographic Standard for Geologic Map Symbolization is strongly encouraged (http://ngmdb.usgs.gov/fgdc_gds/).

As you prepare your geologic maps please compare the stratigraphic nomenclature used on your map product to entries in the U.S. Geologic Names Lexicon (GEOLEX) (http://ngmdb.usgs.gov/Geolex/). We request that in a document or spreadsheet submitted with your deliverable maps to specify all discrepancies, and provide guidance on corrections or additions to be applied to GEOLEX. Please include in this guidance any relevant bibliographic citations to be added.

In order to support the goals of the National Geologic Map Database, you have the opportunity to participate in evaluation of the NCGMP09 database standard (http://ngmdb.usgs.gov/Info/standards/NCGMP09/). All correspondence concerning NCGMP09 should be directed to Dave Soller ([email protected]). Evaluation of the NCGMP09 standard is not a mandatory requirement to fulfill the contractual obligations of an awarded cooperative agreement.

PART II. Timetables, Eligibility, Format Instructions, and Proposal Evaluation

A. Timetables

Proposal Announcement Date: September 9, 2015

Closing Date and Time for Proposal Submission: November 9, 2015 @ 3:00 p.m. (EST)

B. Eligibility – Who May Submit a Proposal

Only State Geological Surveys are eligible to apply to the STATEMAP component of the National Cooperative Geologic Mapping Program pursuant to the National Geologic Mapping Act (Public Law 111-11). Since many State Geological Surveys are organized under a State university system, such universities may submit a proposal on behalf of the State Geological Survey. State Geological Surveys must have a State Mapping Advisory Committee (or equivalent) meet annually to qualify for funding.

This committee shall advise the State Geological Survey on geologic mapping priorities within their State. A letter of support from the Chair of the State Mapping Advisory Committee must accompany the proposal. This letter should briefly describe the process used to prioritize geologic mapping projects selected for the current proposal and how the proposed mapping fits into the long-range mapping plans for the state.

State Geological Surveys that have been funded previously under STATEMAP must be in compliance with requirements specified in previous STATEMAP awards and must have no outstanding deliverables (transmittal letter, geologic maps, and technical reports) due. Failure to meet previous award requirements will be grounds for ineligibility.

C. Proposal Format Instructions

Proposals must be arranged according to the format provided below. Following this format ensures that every proposal contains all essential information, and is evaluated equitably. All documents should be combined and submitted as one Portable Document Format (PDF) file. Please organize your documents in the following order and combine them into one PDF file for submission.

All proposals must include the following documents:

1. Standard Form 424, Application for Federal Assistance (mandatory form provided in grants.gov). The person who electronically submits the SF-424 must have the authority to bind the State to the terms of the assistance award.

2. Standard Form 424A, Budget Information – Non-Construction Programs (mandatory form provided in grants.gov).

3. Standard Form 424B, Assurances—Non-construction Programs (mandatory form provided in grants.gov).

4. Negotiated Rate Agreement/Indirect Cost Rate Agreement. (Most States and Universities have a rate agreement. They are usually titled “State and Local Rate Agreement” or “Colleges and Universities Rate Agreement”. The document provides the rates approved for use on grants, contracts and other agreements with the Federal Government. Some may have an individual audit agency review and provide an agreement. It is basically the documentation that is used that determines the indirect cost rate that is listed on your budget). If you request fringe benefits or indirect costs this agreement is required in order to verify rates requested.

5. Letter from the Chair of State Mapping Advisory Committee (SMAC). The letter should discuss the long-range plan, prioritization process, date of the committee meeting, and list of committee members who attended the meeting including their affiliations and expertise. Voting SMAC members must not be listed on any projects as personnel.

5. STATEMAP Proposal Summary Sheet (Attachment A). Using the provided or similar format in Attachment A, submit the proposed requested itemized budget.

5. Statement of Outcome (Attachment B). This should be one paragraph with a bibliographic citation showing how one of your state’s recently published STATEMAP products was used by another organization or person. It is beneficial to include a letter from the organization stating that the geologic map was a critical component of their decision-making process.

5. Table of Contents.

5. Proposal Technical Section. The technical section of the proposal is limited to 30 single space pages, with no smaller than 11-point font size, and 1-inch margins. Remember that a graphic is worth a thousand words, and the Proposal Evaluation Panel has many proposals to read. Exceeding the 30-page limit for this part of the proposal will not be to your benefit. The figures must be labeled, of high quality, and easy to read and clearly explained. There should be no extraneous text beyond this section other than indicated. The technical section of your proposal includes the following:

1. Introduction. The introduction should include the State’s long-range geologic mapping plan, and how the proposed projects fit into this plan. It should give a brief overview of the project objectives and societal and scientific problems to be addressed. A graphic showing how your long-range plan may relate to population growth, transportation corridors, or some other societal need can be very helpful. Keep this section clear and concise.

2. Location and Geologic Setting. A clear, readable map (with scale) showing the location of each project area should accompany the text. Remember that the Proposal Evaluation Panel may not know your State’s geography as well as you. A separate generalized geologic map of your State is also helpful.

3. Purpose and Justification. This section should answer a few simple, but important questions. Why are you doing this mapping? Who are your customers? What benefits will society receive from the mapping? If geologic maps already produced nearby have been used by local or state agencies in making decisions, reporting on these outcomes is encouraged. It is helpful to include basic science benefits as well as the applied science.

4. Strategy for Performing the Geologic Mapping. This section should emphasize how the geologic mapping will be accomplished, who will be mapping where and for how long, include a drilling or sample collection plan, and the logistics of how the geologic mapping will be accomplished. Provide an explanation of work that appears expensive, such as drilling or helicopter support. If a project is part of a multiyear effort, explain what will be completed for each year. This section should be in agreement with the budget justification and budget itemization sections.

5. Preliminary Results and Prior Work. If you have done any work in the area, especially funded by STATEMAP, include a brief summary of findings or outcomes.

6. Deliverable Geologic Maps. You should provide an explicit list of geologic maps that will be delivered at the end of the one-year cooperative agreement period. If a project cannot be completed in one year, interim maps are still required at the end of the period of performance that documents significant progress. We recommend that these maps be labeled according to the year of development, for example, Interim Map X (mapping year 1 of 2). If a deliverable is a partial quad, you must indicate exactly which section of the quad will be mapped and delivered. When maps are submitted at the end of the period of performance, it is recognized that they may be in review, and not in final form. However, all necessary map components must be included (see Part I, section D). You should also indicate how the deliverables will be transmitted to the NCGMP Program Office and if you foresee any difficulties in providing digital (PDF or GeoPDF) maps and accompanying technical reports.

7. Project Personnel. Provide a table or list that includes information about the Principal Investigator, staff, and support positions (such as geologist, field assistant, or cartographer). Briefly discuss each person’s role on the project so that it links to the budget and mapping strategy section. For each person give a brief statement of their background or vita, and indicate whether the person works for your Survey or elsewhere (contractor or volunteer). Unnamed personnel or unfilled positions should not be listed as a funding match. NCGMP strongly encourages geologic mapping projects to be a team approach to promote safe field practices.

8. Budget explanation and justification. This section should explain and justify in detail your budget. It is important that you itemize your supplies, laboratory and drilling expenses, travel expenses, and any unusual costs in this section for the proposal evaluation panel.

5. Budget sheets (Attachment C) Your proposal must include one budget sheet for the entire proposal, and one budget sheet for each project. These attachments are only a format guide. You may create your own budget sheet with the same format which has more lines for needed itemization. For each project the amount of contributions from a State Geological Survey must be equal to or greater than the amount requested from the U.S. Geological Survey (USGS), and must be derived from non-Federal sources. All budget costs must be itemized and sync with the mapping strategy and budget justification sections. If it is an expensive item, or a significant proportion of your proposal request, the Proposal Evaluation Panel will want to know its details.

Please read each category description below and provide the detailed breakdown that is required for each. This will help avoid possible delays in processing a funded proposal, as an award will not be issued until all required information is provided.

The budgets shall contain the following:

1. NOTE: STATEMAP proposal budgets are Not to Exceed $300,000 total requested budget.

2. Salaries and Wages. List names, positions, and the rate-of-compensation for each person. Salaries or wages for student assistants (both undergraduates and graduate students) are an acceptable cost to the program. This should only include personnel actively involved in the mapping projects. Under most circumstances senior management salary/time is covered by the overhead (indirect cost) portion of the budget. The portion of staff time involved in digitizing, reviewing and map production (to open-file status) can be charged here. If senior management personnel do some of this actual work, include an explanation of their roles. Non-state survey staff working on the project should also be included, if they are being supported by other state funding (see below under cost share). The budget sheet should include the total time worked on the project(s) (in units of months, weeks, days, hours, or percentage of time), rate-of-compensation (dollars/hour for hourly employees, salary/year, or salary/month), and job title or role for each person. If contract employees are hired under a different category in the budget, their total time, rate-of-compensation, job titles, and roles should also be explained. Unnamed personnel or unfilled positions should not be listed as a funding match.

Example Salary/Wage Budget Section

Employee	Job Title/Role	Compensation Rate	Units (mo, wk, hr, %)	Federal Cost	State Cost
Employee A	Geologist II	$50,000/year	2	$8333
Employee B	Lead GIS Technologist	$31.50/hour	240		$7560

3. Fringe Benefits. Propose your rates/amounts. If rates are audit approved, include a copy of the audit agreement and/or the name of the audit agency. If you request fringe benefits and not indirect costs you still have to provide an indirect cost rate agreement or show how the fringe benefit rate(s) is calculated.

4. Field Expenses. Itemize the estimated travel costs (i.e., number of people, number of travel days, per diem rate, mileage rate, airfare, transportation, and any other travel costs). Note: Travel to meetings of professional societies is not an acceptable expense. Also, travel expenses for state mapping advisory committee meetings are not acceptable expenses.

5. Other Direct Cost Line Items to List.

• Supplies. List costs for office, field, and laboratory supplies, including base maps, aerial photographs, petrographic thin sections, and other office and laboratory supplies. Itemize by including the number and cost for each item.

• Equipment. List expendable equipment costs. Federal STATEMAP funds are not intended for the purchase of computer hardware, GPS, vehicles, or other nonexpendable property. STATEMAP funds may, if necessary, be used for the purchase of software site licenses that are used specifically for the completion of STATEMAP products. Requests for software must be accompanied by a copy of an up-to-date cost quote from the software company and prorated for STATEMAP use only.

• Drilling. Itemize and describe drilling costs and rates.

• Map digitization costs. Provide a breakdown of costs. If map digitization is to be contracted out, then it should be identified here. Explain and justify any extraordinary items.

• Contractual services. Identify proposed contractors (individual or corporate) and provide the criteria by which contractors will be, or have been selected. Provide breakdown of all costs.

• Data. If utilizing datasets like LiDAR or aeromagnetics, you must show how this information will be used to enhance the mapping or map product. If these datasets are used as a match, make sure no Federal funds were used to collect the data. Also, you must pro-rate the data cost for the area covered by the proposed map.

6. Non-allowable Expenses

• Equipment and nonexpendable property. Federal STATEMAP funds are not intended for the purchase of computer hardware, GPS, vehicles, or other nonexpendable property, nor can these expenses be used as matching costs for Federal funds.

• Tuition and course fees. Federal STATEMAP funds are not intended to pay tuition or course fees nor can student tuition or course fees be used as a matching cost for Federal funds.

• Computer maintenance. Routine computer maintenance contracts and charges for computer time are not acceptable costs (these should be covered by indirect costs).

• Printing. Federal STATEMAP funds are not intended for State printing of multicolored or quality black-and-white versions of geologic maps produced in the program, nor can the cost to a State for such printing be used as a matching cost for Federal funds.

7. Total direct charges. (Items a - e) Each project and the total of the proposal (all projects combined) MUST show a 1:1 Federal/State match of direct charges.

8. Indirect Charges. Show proposed rate and amount. Proposals must include a copy of the negotiated indirect cost rate agreement. Be sure that indirect charges apply only to those direct cost items allowable under the negotiated cost rate agreement. Usually sub-contract direct costs are either excluded from indirect charges, or there is a cap on the amount of subcontract costs eligible for indirect charges.

9. Important Notes. The 2009 Reauthorization of the National Geologic Mapping Act (Public Law 111-11) states that the USGS and recipients of STATEMAP grants shall not use more than 15.25% of the Federal funds to pay indirect, servicing, or program management charges (which is equivalent to 18% of total direct costs).

10. Regardless of the State’s federally negotiated indirect cost rate, a State must show a 1:1 match of the total direct costs and no more than 18% on the Federal indirect cost line. Up to 18% of a State’s total direct costs may be used as a State match on the State’s indirect cost line. If a State chooses (or is required) to show a higher than 18% rate on the State’s indirect cost line it can be listed under “uncollected indirect costs” on the State’s side, the result will be a higher State budget total than the Federal budget total. If the State’s approved rate is less than 18%, the approved rate must be used. Please read the statement below carefully to fully understand the matching requirements. This also applies to subcontracts. If you have a subaward issued for a portion of your project the same rules apply in regards to the 18% cap for indirect costs on the federal side.

PLEASE NOTE THAT THE ABOVE COST CATEGORIES MUST BE BROKEN DOWN AS DESCRIBED ABOVE ON THE BUDGET SHEETS.

NOTE: The following is a summary of what is required in regards to the 1:1 match.

• A 1:1 Federal/State match is required for TOTAL DIRECT CHARGES for each individual project

• A 1:1 Federal/State match is required for TOTAL DIRECT CHARGES on the entire proposal budget

• A 1:1 Federal/State match is required for each individual project TOTAL (this includes direct costs and indirect cost)

• A 1:1 Federal/State match is required for the GRAND TOTAL (this includes direct costs and indirect cost)

5. Deliverable Map(s). If your State Geological Survey has received prior STATEMAP support, the NCGMP Program Office will judiciously select a geologic map from your most recent deliverables to best represent the quality of your work as an example for the StateMap Proposal Evaluation Panel. It is expected that all of your map deliverables reflect what you originally proposed and your budget requested. For example, if you requested funding for GIS work, geochemistry, or geochronology, your map product must include these components. This will enable the Proposal Evaluation Panel to evaluate the quality and scope of products supported by STATEMAP.

5. Collaborative support for the National Geologic Map Database (NGMDB). For all published maps and reports for which STATEMAP funding was received in previous years, provide the specified bibliographic information to the Map Catalog. See http://ngmdb.usgs.gov/Info/partners.html or contact Dave Soller ([email protected]) for details. In your proposal, indicate that this has been or has not been accomplished.

D. Proposal Evaluation

STATEMAP proposals will be reviewed by an eight (8) member peer panel. Five (5) members will be State Geologists selected by the Association of American State Geologists (one from each region, one at large, and the past president of AASG). Three (3) members will be USGS geologists representing each region, including the STATEMAP Program Coordinator, who will act as Chair and who will choose the other two USGS members. The State Geologists will act as lead reviewers, and the USGS geologists will provide regional expertise about USGS programs and can identify any possible duplication of geologic mapping effort.

Evaluation Criteria. All proposals will be considered in accordance with the criteria listed below. The evaluated strength and quality of proposals will be considered in making funding decisions. Each reviewer will complete an evaluation form for each proposal reviewed, and the evaluation forms will become part of the official proceedings record at the conclusion of the Proposal Evaluation Panel meeting.

NOTE: To avoid any conflict of interest, no panelist may vote on a proposal from his or her State Geological Survey or State agency; nor may any panelist take part in any discussion with other panel members about his or her State’s proposal.

1. State Mapping Advisory Committee (10 points).

1. Is the committee broad based and balanced?

2. Is a letter from the committee chair included?

3. Does the letter explain both the State’s mapping priorities and the process by which priorities were reached?

4. Are the names, affiliations, and expertise of each committee member listed?

2. Purpose of geologic mapping (15 points).

1. How well does the proposal relate to the State Geological Survey intermediate to long-range plan?

2. How well does the proposed mapping respond to societal or customer needs?

3. How well does the proposed mapping address the goals of the National Geologic Mapping Act?

3. Technical Quality of the Proposal (30 points).

1. How well does the proposal demonstrate the scientific and technical viability of the proposed objectives?

2. Do the deliverables for each project adequately relate to the proposed project?

3. Does the proposal stress what is scientifically important and new?

4. Budget Clarity and Justification (15 points)

1. Does each project’s direct cost and overall cost have a 1:1 match of Federal and State funds?

2. Does the budget clearly show each employee by name, salary rate, and length of time employed on each project?

3. Is the proposed staff sufficient to accomplish the proposed goals?

4. Are all field expenses, supplies, and other expenses reasonable and adequately itemized?

5. Are all items included as direct cost appropriate?

6. Are contract employees clearly distinguished from those already on the State Geological Survey payroll?

5. Products from previous USGS STATEMAP cooperative agreements (30 points).

1. What is the quality of the map deliverables and do they include the components necessary to convey the geology of the quadrangle or mapped area? (See Part I, section D and Part II, section 9.f.)

2. Have all deliverables been submitted in a timely fashion?

3. Has the state survey updated the National Geologic Map Database?

PART III. Proposal Delivery and Submission Instructions

Hard copies of the proposals are no longer required.

Applicants are held responsible for the proposal to be electronically submitted to GRANTS.GOV (www.grants.gov) by November 9, 2015 @ 3:00 p.m. (EST). To obtain step by step instructions for GRANTS.GOV please visit the following website: http://www.usgs.gov/contracts/grants/grantsgov.html. Please be aware that the electronic submission system is relatively complex for first-time users and involves several preliminary registration steps to be taken before the proposal can be submitted (go to www.grants.gov and click on the “Register” link in the upper right side of the page). Be advised that it is virtually impossible to begin the process of electronic submission for the first time if you start just a few days before the proposal submission due date. If you are affiliated with a university, contact your Office of Sponsored Programs as they may already have completed the registration process and should work with you to submit the application.

Please allow sufficient time for the proposal to be submitted electronically and allow time for possible computer delays. It is strongly advised not to wait until the last minute for submission. A proposal received after the closing date and time will not be considered for award. If it is determined that a proposal will not be considered due to lateness, the applicant will be notified immediately.

All grant programs are required to use GRANTS.GOV to advertise program announcements. Any form that is not available online may be submitted as attachments at the end of the proposal through the online application process.

PART IV. General Provisions

A. General Provisions of the National Cooperative Geologic Mapping Program

By accepting Federal assistance, your organization agrees to abide by the provisions of the National Cooperative Geologic Mapping Program, namely the National Geologic Mapping Reauthorization Act of 2009, Public Law 111-11 (http://ncgmp.usgs.gov/), and OMB Circular A-16 “Coordination of Surveying, Mapping and Related Spatial Data Activities http://www.whitehouse.gov/omb/circulars/a016/a016_rev.html.

2. Office of Management and Budget (OMB) Circulars

By accepting Federal assistance, your organization agrees to abide by the applicable OMB Circulars in the expenditure of Federal funds and performance under this program. However, a State can propose other circulars in their proposal if these circulars are not applicable. Copies of these Circulars can be obtained from the Internet at: http://www.whitehouse.gov/omb/circulars/index.html.

1. 2 CFR 225 “Cost Principles for State, Local and Indian Tribal Governments (OMB Circular A-87)

2. OMB Circular A-102 “Uniform Administrative Requirements for Grants-in-Aid to State and Local Governments.”

3. OMB Circular A-133 “Audits of States, Local Governments, and on-Profit Organizations.”

C. Publication

1. Publication or open-file release of the results of any project carried out under this assistance award is authorized in map or publication “series” of State Geological Surveys. Publication includes conventional format in paper copy, reproducible mylar or similar material, and electronic format as digital files on computer readable disk, CD-ROM, or similar medium. Maps submitted to journals, professional organizations, or commercial firms, for publication shall be accompanied by the following notation:

“This map and explanatory information is submitted for publication with the understanding that the United States Government is authorized to reproduce and distribute reprints for governmental use.”

2. Program Credit. All geologic maps resulting from any project carried out under this assistance award resulting wholly or in part from the cooperative agreement shall bear a cooperative statement in the map header, on the title page of an accompanying explanatory text, and in the acknowledgments that accompany the map or any resulting report. This credit shall read:

“This geologic map was funded in part by the USGS National Cooperative Geologic Mapping Program under StateMap award number GXXACXXXXX, 20XX.” [Include award number and year funded]

3. Disclaimer. All maps and explanatory text submitted for publication by professional societies or commercial firms shall carry the following notation:

“The views and conclusions contained in this document are those of the authors and should not be interpreted as necessarily representing the official policies, either expressed or implied, of the U.S. Government.”

4. Publication information should be entered into the National Geologic Map Database (http://ngmdb.usgs.gov/Info/partners.html).

D. Funding

1. The STATEMAP program is required by statute (Public Law 111-11) to be carried out on a 1:1 matching basis; each recipient must match each Federal dollar with a non-Federal dollar (direct and indirect costs). The non-Federal share may be contributions of services or cash provided to contractors to perform geologic mapping or other services directly applicable to proposed work on the project. The specific source(s) of the State contribution, such as State legislative appropriation, must be provided in the proposal. The 1:1 ratio, however, does not prevent States from securing additional funds from other tax-supported entities to increase the level of work that is accomplished in a region. The Program encourages multiple partnerships, as they enhance the production of geologic maps. A letter or item of evidence should be included with the proposal to support other non-state-survey funds. Federal regulations prohibit the matching of Federal funds with other Federal funds. Consequently, third-party funding arrangements, though encouraged, should be viewed as adding additional activities that are accounted for separately from the USGS-State-matching funds agreement.

2. Performance of projects funded by this program will conform to OMB Circular A-16 (revised). As noted in that circular, use of USGS funds for the purchase of equipment will not be authorized.

3. Funds for the National Cooperative Geologic Mapping Program and in turn, STATEMAP awards, will not be available until enactment of the Department of the Interior Appropriations. Since it is anticipated that awards will not be announced until after February 15, 2016, proposed project start dates should not begin prior to April 15, 2016. Also, projects must start no later than September 15, 2016.

NOTE: An award grant issued by the USGS Office of Acquisition and Grants is required for the State agency to obligate USGS funds. Notification of a successful proposal does not constitute authority to incur costs funded by USGS money. Costs may be incurred only after the receipt of an award signed by the Contracting Officer of the USGS.

4. Requests for no-cost extensions shall be forwarded to the Grant Specialist/Contracting Officer for consideration not later than 30 days prior to the requested end date. After discussion with STATEMAP Program Officer, the Grant Specialist/Contracting Officer will make a final decision on a case-by-case basis and notify the Recipient in writing. Asking for a no-cost extension in no way jeopardizes the success of a future proposal. However, if a State asks for a no-cost extension, it cannot extend past a date 30 days in advance of the STATEMAP Proposal Evaluation Panel meeting for the next funding cycle.

5. Non-state-survey "appropriate" state cost share requires at least three basic pieces of documentation: (1) a letter or other official piece of paper from the proposed source of the non-state-survey cost share clearly committing to the cost share and, as specifically as possible, identifying the exact nature of the share (i.e., timing, dollars, equipment, services, personnel, etc.); (2) specific information in the Strategy for Performing the Geologic Mapping section that links the non-state-survey cost share directly and convincingly to the proposed geologic mapping activities; (3) specific information in the budget materials that shows how the non-state-survey cost share will match Federal dollars, category-by-category, and in sufficient detail to corroborate the descriptive material in the Strategy section. Actual or apparent costs caused by the required indirect (overhead) rate (18% total costs) being less than the State Survey’s negotiated cost agreement are NOT a permissible cost share contribution.

-- END OF PROGRAM ANNOUNCMENT--

Attachment A

USE THE FOLLOWING FORMAT

STATEMAP PROPOSAL SUMMARY SHEET

Name of State Geological Survey:

                                                                                                                    

Principal Investigator (person we can call to ask questions if needed):

Name:
Address:
Phone:
Email:

Project Titles:

Project 1 Title: Amount:
Project 2 Title: Amount:
Project 3 Title: Amount::
Project 4 Title: Amount::

Start date: End date:

Project Deliverables (please include list of quadrangles and partial quadrangles):

Project 1 Deliverables:
Project 2 Deliverables:
Project 3 Deliverables:
Project 4 Deliverables:

Total Federal Funds Requested: $_____________________

Attachment B

USE THE FOLLOWING FORMAT

STATEMAP STATEMENT OF OUTCOME

Include a bibliographic citation and a paragraph showing how a recent published STATEMAP product was used by another organization or person. It is helpful to include a letter from the organization stating that the geologic map was a critical component of their decision-making process.

Bibliographic citation:

Paragraph:

Attachment C

USE THE FOLLOWING FORMAT

National Cooperative Geologic Mapping Program

STATEMAP Element

BUDGET ESTIMATES FOR ENTIRE PROPOSAL

­­­­

State: _______________________________________

­­­­­­­­­­­­­­­­­­­

Proposal Short Title: _________________________________________

Budget Category	Federal Funding ”Requested”	Matching Funds “Proposed”
SALARIES:
Survey Staff	$	$
	$	$
	$	$
	$	$
	$	$
Contract Staff	$	$
	$	$
	$	$
(provide salary rate & time for each)	$	$
	$	$
Total Salaries:	$	$
FRINGE BENEFITS:
Survey Staff	$	$
	$	$
	$	$
	$	$
	$	$
Contract Staff	$	$
	$	$
	$	$
	$	$
	$	$
Total Fringe Benefits:	$	$

Attachment C

USE THE FOLLOWING FORMAT

National Cooperative Geologic Mapping Program

STATEMAP Element

BUDGET ESTIMATES FOR ENTIRE PROPOSAL

­­­­

State: _______________________________________

­­­­­­­­­­­­­­­­­­­

Proposal Short Title: _________________________________________

Budget Category	Federal Funding ”Requested”	Matching Funds “Proposed”
FIELD EXPENSES:
Per Diem	$	$
Lodging Cost	$	$
Vehicle Cost	$	$
Mileage	$	$
	$	$
(provide number & rate for each)	$	$
	$	$
MISCELLANEOUS SUPPLIES:
Office and Laboratory Supplies (itemize)	$	$
Drilling	$	$
Map Digitizing Costs	$	$
	$	$
	$	$
	$	$
(breakdown the above costs)	$	$
	$	$
	$	$
	$	$
Total Direct Costs:	$	$
Indirect Cost (__ %) *	$	$
Uncollected Indirect Cost	$ ---------------------------------	$
GRAND TOTAL:	$	$

* Not to exceed 18%

Attachment C

USE THE FOLLOWING FORMAT

National Cooperative Geologic Mapping Program

STATEMAP Element

BUDGET ESTIMATES FOR INDIVIDUAL PROJECT BUDGET

State: _________________________________

Proposal Short Title: ______________________________________________

Individual Project Title: ____________________________________________

Budget Category	Federal Funding ”Requested”	Matching Funds “Proposed”
SALARIES:
Survey Staff	$	$
	$	$
	$	$
	$	$
	$	$
Contract Staff	$	$
	$	$
	$	$
(provide salary rate & time for each)	$	$
	$	$
Total Salaries:	$	$
FRINGE BENEFITS:
Survey Staff	$	$
	$	$
	$	$
	$	$
	$	$
Contract Staff	$	$
	$	$
	$	$
	$	$
	$	$
Total Fringe Benefits:	$	$

Attachment C

USE THE FOLLOWING FORMAT

National Cooperative Geologic Mapping Program

STATEMAP Element

BUDGET ESTIMATES FOR INDIVIDUAL PROJECT BUDGET

State: _________________________________

Proposal Short Title: ______________________________________________

Individual Project Title: ____________________________________________

Budget Category	Federal Funding ”Requested”	Matching Funds “Proposed”
FIELD EXPENSES:
Per Diem	$	$
Lodging Cost	$	$
Vehicle Cost	$	$
Mileage	$	$
	$	$
(provide number & rate for each)	$	$
	$	$
MISCELLANEOUS SUPPLIES:
Office and Laboratory Supplies (itemize)	$	$
Drilling	$	$
Map Digitizing Costs	$	$
	$	$
	$	$
	$	$
(breakdown the above costs)	$	$
	$	$
	$	$
	$	$
Total Direct Costs:	$	$
Indirect Cost (__ %) *	$	$
Uncollected Indirect Cost	$ ---------------------------------	$
INDIVIDUAL PROJECT TOTAL:	$	$

* Not to exceed 18%

Attachment D

SPECIAL TERMS AND CONDITIONS

SECTION A – ASSISTANCE ADMINISTRATION DATA AND DELIVERABLES

A.1. Cooperative Agreement Administration

This cooperative agreement will be administered by:

U.S. Geological Survey

Office of Acquisition and Grants

Kimberly L. Dove, Grants Specialist

12201 Sunrise Valley Drive, MS 205

Reston, VA 20192

Telephone (703) 648-7487

Email: [email protected]

Written communication shall make reference to the Cooperative Agreement number and shall be mailed to the address above or email to [email protected].

A.2. Consideration

(a) The recipient’s proposal as identified on Page 1, Block 10 is incorporated by reference. The total estimated cost of the USGS share for the performance of this cooperative agreement is the total amount indicated in Block 13. Costs hereunder shall in no event exceed that amount without prior written approval of the Contracting Officer.

(b) Prior approval of the Grant Specialist/Contracting Officer is not required for transfer of funds between direct cost categories when the cumulative amount of the transfers during the performance period does not exceed ten (10) percent of the total USGS cash award. Prior written approval is required from the Grant Specialist/Contracting Officer for transfers in excess of the ten (10) percent limitation.

A.3. Payment

Payments under financial assistance awards must be made using the Department of the Treasury Automated Standard Application for Payments (ASAP) system (www.asap.gov).

1. The Recipient agrees that it has established or will establish an account with ASAP. USGS will initiate enrollment in ASAP. If the Recipient does not currently have an ASAP account, they must designate an individual (name, title, address, phone and e-mail) who will serve as the Point of Contact (POC).

2. With the award of each grant/cooperative agreement, a sub-account will be set up from which the Recipient can draw down funds. After recipients complete enrollment in ASAP and link their banking information to the USGS ALC (14080001), it may take up to 10 days for sub-accounts to be activated and for funds to be authorized for drawdown in ASAP.

3. Inquiries regarding payment should be directed to ASAP at (855) 868-0151.

A.4. Definitions

1. Grant Agreement

A grant agreement is the legal instrument reflecting a relationship between the Federal Government and a state or local government or other recipient whenever:

(1) the principal purpose of the relationship is the transfer of money, property, services, or anything of value to the state or local government or other recipient in order to accomplish a public purpose of support or stimulation authorized by Federal statute, rather than acquisition, by purchase, lease, or barter, of property or services for the direct benefit or use of the Federal Government; and

(2) no substantial involvement is anticipated between the executive agency, acting for the Federal Government, and the state or local government or other recipient during performance of the contemplated activity.

2. Cooperative Agreement

A cooperative agreement is the legal instrument reflecting a relationship between the Federal Government and a state or local government or other recipient whenever:

(1) the principal purpose of the relationship is the transfer of money, property, services, or anything of value to the state or local government or other recipient to accomplish a public purpose of support, or stimulation authorized by Federal statute, rather than acquisition, by purchase, lease, or barter, of property or services for the direct benefit or use of the Federal Government; and

(2) substantial involvement is anticipated between the executive agency, acting for the Federal Government, and state or local government or other recipient during performance of the activity.

3. Grantee/Cooperator

Grantee or cooperator means the nonprofit corporation or other legal entity to which a grant or cooperative agreement is awarded and which is accountable to the Federal Government for the use of the funds provided. The grantee or cooperator is the entire legal entity even if only a particular component of the entity is designated in the award document. For example, a grant or cooperative agreement award document may name as the grantee one school or campus of a university. In this case, the granting agency usually intends, or actually requires, that the named component assume primary or sole responsibility for administering the grant-assisted project or program. Nevertheless, the naming of a component of a legal entity as the grantee or cooperator in a grant or cooperative agreement award document shall not be construed as relieving the whole legal entity from accountability to the Federal Government for the use of the funds provided.

The term “grantee” or “cooperator” does not include secondary recipients such as sub grantees, contractors, etc., who may receive funds from a grantee pursuant to a grant.

4. Recipient

Recipient means grantee or cooperator.

5. Principal Investigator

The Principal Investigator is the individual designated by the Recipient (and approved by the USGS) who is responsible for the technical direction of the research project. The Principal Investigator cannot be changed or become substantially less involved than was indicated in the Recipient's proposal, without the prior written approval of the Contracting Officer.

6. Program Officer

1. The Program Officer will work closely with the Principal Investigator to ensure that all technical requirements are being met. The Program Officer’s responsibilities include, but are not limited to, providing technical advice on the accomplishment of the proposal's objectives; reviewing the technical content of reports and the other information delivered to the USGS; determining the adequacy of technical reports; and conducting site visits, in coordination with the Regional Coordinator, Deputy Chief for External Research, and the Contracting Officer, as frequently as practicable.

2. The Program Officer is Douglas A. Howard, U.S. Geological Survey, 908 National Center, 12201 Sunrise Valley Drive, Reston, VA 20192. The Program Officer does not have the authority to issue any technical direction which constitutes an assignment of additional work outside the scope of the award; in any manner cause a change in the total cost or the time required for performance of the award; or change any of the terms, conditions, or general provisions of the award.

7. Contracting Officer (CO)

Contracting Officers are individuals who have been delegated in writing by the USGS Office of Acquisition and Grants as the sole authority designated to obligate Federal funds and create terms and conditions of awards. They are the only individuals who have authority to negotiate, enter into, and administer awards resulting for this program. Contracting Officers have responsibility to ensure the effective use of Federal funds.

Functions of the Contracting Officer include but are not limited to:

(1) Issuing the grant/cooperative agreement program announcement in coordination with the program manager.

(2) Receiving grant/cooperative agreement proposals and related documents in response to a program announcement. The Grant Specialist as receiving official shall mark all proposals with a control number.

(3) Approving the program manager’s Technical Evaluation Plan, which describes in detail the evaluation process for a competitive grant/cooperative agreement program. The Contracting Officer/Grant Specialist shall ensure the openness and fairness of the evaluation and selection process.

(4) Serving in an advisory capacity at peer review panel meetings. She shall interpret grant/ cooperative agreement management policies to panel members.

(5) Negotiating, as necessary, the final grant/cooperative agreement budget.

(6) Issuing grant/cooperative agreement awards and revisions to awards.

(7) Receiving all requests for changes to an award. The Grant Specialist/Contracting Officer shall serve as the mandatory control point for all official communications with the grantee which may result in changing the amount of the grant/cooperative agreement, the grant/cooperative agreement budget, or any other terms and conditions of the award.

(8) Receiving financial reports required by the terms and conditions of the award.

(9) Closing out grant/cooperative agreement awards when all applicable award requirements have been complied with.

A.5. Reporting Requirements

A. Required reports/documents. The Recipient shall submit the following reports/documents:

Report/Document	# of Copies	Submit To	Due Date
1. Transmittal Letter, Maps, plus accompanying technical report	1 Original	Program Officer (see page 2 of Award Document)	On or before the last day of the 12-month project period.
2. Transmittal Letter	1 Copy	Grant Specialist, see Section A.1 of terms & conditions	On or before the last day of the 12-month project period.
3. SF 425- Federal Financial Report	SEE SECTION A.5(B) BELOW	Electronically thru FedConnect or via email to Grant Specialist (A.1)	SEE SECTION A.5(B) BELOW
4. *Publications	1 Copy	Program Officer (same as above)	Immediately following publication.

* Publication means any book, report, photograph, map, chart, or recording published or disseminated to the scientific community.

B. CASH MANAGEMENT AND FINANCIAL REPORTING REQUIREMENTS

1. Final Financial Report.

1. The recipient will liquidate all obligations incurred under the award and submit a final STANDARD FORM 425, FEDERAL FINANCIAL REPORT through FedConnect (www.fedconnect.net) no later than 90 calendar days after the grant/cooperative agreement completion date. The SF 425 is available at: http://www.whitehouse.gov/omb/grants_forms. Recipient will promptly return any unexpended federal cash advances or will complete a final draw from ASAP to obtain any remaining amounts due. Once 120 days has passed since the grant/cooperative agreement completion date, USGS shall unilaterally deobligate Federal funds as reflected in the Final SF 425.

2. Subsequent revision to the final SF 425 will be considered only as follows -

1. When the revision results in a balance due to the Government, the recipient must submit a revised final Federal Financial Report (SF 425) and refund the excess payment whenever the overcharge is discovered, no matter how long the lapse of time since the original due date of the report.

2. When the revision represents additional reimbursable costs claimed by the recipient, a revised final SF 425 may be submitted to the Contracting Officer with an explanation. If approved, the USGS will either request and pay a final invoice or reestablish the ASAP subaccount to permit the recipient to make a revised final draw. Any revised final report representing additional reimbursable amounts must be submitted no later than 1 year from the due date of the original report, i.e., 15 months following the agreement completion date. USGS will not accept any revised SF 425 covering additional expenditures after that date and will return any late request for additional payment to the recipient.

C. Publication of the results of any project carried out under this assistance award is authorized in professional journals, trade magazines, or may be made by the USGS. The following notation shall accompany manuscripts submitted to journals or professional publications for publication:

"This manuscript is submitted for publication with the understanding that the United States Government is authorized to reproduce and distribute reprints for governmental use."

"Supported by the U. S. Geological Survey, National Cooperative Geologic Mapping Program, under assistance Award No. [Insert the award number from Block 1 of page one]."

(i) One copy of each article planned for publication shall be submitted to the Program Officer simultaneously with its submission for publication. One reprint of each published article shall be submitted to the Program Officer immediately following publication.

(ii) Disclaimer. All manuscripts submitted for publication in magazines, journals or trade papers shall carry the following notation:

"The views and conclusions contained in this document are those of the authors and should not be interpreted as necessarily representing the official policies, either expressed or implied, of the U.S. Government."

D. Report preparation instructions. The Recipient shall prepare the reports/documents in accordance with the following instructions:

(1). Technical Report. This report is due at the end of the awards 12-month performance period. The technical report should be no less than 3 single-spaced on 8 ½ ‑inch by 11-inch pages and include the following:

(a) A cover page of the technical report shall contain the award number, Recipient's name, Principal Investigator's name and title of the Recipient's application.

(b) The technical report shall contain an abstract that summarizes the observations and conclusions of the report.

(c) The main body of the final technical report shall document and summarize the results of the recipient’s work over the 12-month project period. The report shall include an adequate but brief description of activities and overall progress which summarizes the results of the entire award. The final report may include tables, graphs, diagrams, sketches, etc., as required to explain the results achieved under the award. The report may also include recommendations and conclusions based upon both the experience and the results obtained.

(d) The report shall also contain a bibliography of all publications resulting from the work performed during the 12-month period. Copies of the publications are required if the Recipient has not previously submitted them to the Program Officer.

(e) Submit this report via email directly to the Project Officer ([email protected]) and Program Analyst ([email protected]). A copy of the cover letter should be mailed to the Grant Specialist ([email protected]).

E. Maps. One copy of each map with all accompanying explanatory information shall be submitted to the Program Officer by the end of the cooperative agreement’s end date and with its subsequently the updated map when published. If a map has been prepared as an electronic digital data file (or files), one copy of that file or files shall be submitted to the Program Officer via Dropbox, FTP or US mail on computer readable disk or CD- ROM. If needed, a document or electronic "README" file, prepared in the latest version of a major standard word processing program (such as Microsoft Word or Word Perfect) and instructions or codes needed to access the electronic digital file, shall accompany each file stating the program(s) used.

(1) The Publication of the results of any project carried out under this assistance award is authorized in map or publication "series" of State geological surveys. Emphasis is on the prompt release of the geologic map and explanatory information, so that publication includes release of maps or segments of maps with explanatory information in open-file format. Publication includes conventional format in paper copy, reproducible Mylar or similar material, and electronic format as digital files on computer readable disk, CD-ROM, or similar medium. The following notation shall accompany maps with explanatory information submitted to journals, professional organizations, or commercial firms for publication:

"This map and explanatory information is submitted for publication with the understanding that the United States Government is authorized to reproduce and distribute reprints for governmental use."

All publications that contain work performed during the project period shall include the following statements:

"Research supported by the U. S. Geological Survey, National Cooperative Geologic Mapping Program, under USGS award number [Insert the award number from Block 1 of page one]. The views and conclusions contained in this document are those of the authors and should not be interpreted as necessarily representing the official policies, either expressed or implied, of the U. S. Government."

(2) Adherence to reporting requirements. A Recipient's failure to submit the required reports/ documents, in a timely manner, may result in the with­holding of payment, in termination of the award, or in delay or non-issuance of a new award.

(3) A transmittal letter shall also accompany the maps that are forwarded to the Program Officer. The letter should identify the award number, Recipient's name, Principal Investigator's name, title of the Recipient's application, and a description of the map being submitted. A copy of the transmittal letter shall be sent to the Grant Specialist ([email protected]) identified in Section 1 on page 1 of the terms and conditions.

F. Adherence to reporting requirements

A Recipient’s failure to submit the required reports/documents, in a timely manner, may result in withholding of payment, termination of the award, or delay or non-issuance of new awards.

A.6. Adherence to Original Research Objectives and Budget Estimates

A. Any commitments or expenditures incurred by the Recipient in excess of the funds provided by this award shall be the responsibility of the Recipient. Expenditures incurred prior to the effective date of this award cannot be charged against award funds unless provided for in this award.

B. The following requests for change require advance written approval by the issuing office at the address on page two of your award. Your request must be submitted directly to the Grant Specialist at least 30 calendar days prior to the requested effective date of the change or prior to the expiration date of the award:

1. Changes in the scope, objective, or key personnel referenced in the Recipient's proposal.

2. Transfer of funds between direct cost categories when the cumulative amount of transfers during the project period exceeds 10 percent of the total award.

3. Acquisition of nonexpendable personal property (equipment) not approved at time of award.

4. Change in the project period. The Recipient shall include in the request the cause of the needed extension, a description of the remaining work to be completed, the proposed date of completion, the amount of funds remaining, and a revised budget for the remaining funds. If all funds have been disbursed to the Recipient, this must be indicated in the request. A request for an extension that is received by the Grant Specialist after the expiration date shall not be honored.

For continuing work, an extension shall delay the award of a follow-on agreement until such time that the first agreement has been completed. An extension for any time period beyond the original expiration may, in unusual circumstances, result in the cancellation of intended subsequent agreement awards.

5. Creation of any direct cost line item not approved at time of award.

6. Any other significant change to the award.

3. The Grant Specialist will notify the Recipient in writing within 30 calendar days after receipt of the request for revision or adjustment whether the request has been approved.

A.7. Pre-agreement Costs

Pre-agreement costs are not authorized under this program. Costs must be obligated during the performance period.

A.8. Site Visits

Site visits may be made by USGS representatives to review program accomplishments and management control systems and to provide technical assistance, as required.

A.9. Violation of Award Terms

If a Recipient materially fails to comply with the terms of the award, the Contracting Officer may suspend, terminate, or take such other remedies as may be legally available and appropriate in the circumstances.

A.10. Award Closeout

Awards will be closed out once all requirements have been met. Maps, Technical and financial reports must be submitted on time as specified in Section 4 of these Special Terms and Conditions. Failure to adhere to the reporting requirements may result in the delay or denial of further awards.

A.11. Government Involvement Statement

1. Substantial involvement is anticipated through the term of the cooperative agreement between the USGS and the Recipient.

2. The USGS and the Recipient will collaborate and participate in program planning for each phase of the project.

A.12 Modification

This award may be modified in writing by mutual consent of the Recipient representative and the Contracting Officer.

SECTION B – GENERAL PROVISIONS

B.1 Cost Principles, Audit, and Administrative Requirements

The Recipient shall be subject to the following regulations, which are incorporated herein by reference. Copies of these regulations can be obtained from the Internet at: http://www.whitehouse.gov/omb/grants_docs

Educational Institutions / State and Local Governments / Non-Profit Organizations

2 CFR Part 200, Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards, as implemented by the Department of the Interior in 2 CFR Part 1402 and 43 CFR Part 12.

B.2 Additional Regulations

This award is subject to the following additional Government wide regulations:

• 2 CFR 180, Government wide Debarment and Suspension (Nonprocurement)

• 2 CFR 182, Government wide Requirements for Drug-Free Workplace (Financial Assistance)

This award is subject to the following additional regulations of the U.S. Department of the Interior:

• 2 CFR Part 1400, Nonprocurement Debarment and Suspension

• 2 CFR Part 1401, Requirements for a Drug Free Workplace (Financial Assistance)

• 43 CFR Part 17, Nondiscrimination in Federally Assisted Programs of the Department of the Interior

• 43 CFR Part 18, New Restrictions on Lobbying

• Submission of an application also represents the applicant’s certification of the statements in 43 CFR Part 18, Appendix A, Certification Regarding Lobbying

• 43 CFR Part 41, Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance [Applies only if this award provides assistance to an education program or student(s)]

B.3 Additional Articles Required For Compliance with Statute or Regulation

a) The Seat Belt Provision (Executive Order 13043)

Recipients of grants/cooperative agreements and/or sub-awards are encouraged to adopt and enforce on-the-job seat belt use policies and programs for their employees when operating company owned, rented, or personally owned vehicles. These measures include, but are not limited to, conducting education, awareness, and other appropriate programs for their employees about the importance of wearing seatbelts and the consequences of not wearing them.

b) Federal Leadership on Reducing Text Messaging while Driving (Executive Order 13513)

Recipients are encouraged to adopt and enforce policies that ban text messaging while driving, including conducting initiatives of the type described in section 3(a) of the order. (http://www.whitehouse.gov/the_press_office/Executive-Order-Federal-Leadership-on-Reducing-Text-Messaging-while-Driving/)

c) Use of U.S. Flag Air Carriers (49 USC Section 40118)

Any air transportation to, from, between or within a country other than the U.S. of persons or property, the expense of which will be paid in whole or in part by U.S. Government funding, must be performed by, or under a code-sharing arrangement with, a U.S. flag air carrier if service provided by such a carrier is "available" (49 U.S.C. 40118, commonly referred to as the Fly America Act). Tickets (or documentation for electronic tickets) must identify the U.S. flag air carrier's designator code and flight number. See the Federal Travel Regulation §301-10.131 - §301-10.143 for definitions, exceptions, and documentation requirements. (See also Comp. Gen. Decision B-240956, dated September 25, 1991.)

d) Trafficking in Persons (2 CFR Part 175)

a. Provisions applicable to a recipient that is a private entity.

1. You as the recipient, your employees, subrecipients under this award, and subrecipients' employees may not—

i. Engage in severe forms of trafficking in persons during the period of time that the award is in effect;

ii. Procure a commercial sex act during the period of time that the award is in effect; or

iii. Use forced labor in the performance of the award or subawards under the award.

2. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or a subrecipient that is a private entity —

i. Is determined to have violated a prohibition in paragraph a.1 of this award term; or

ii. Has an employee who is determined by the agency official authorized to terminate the award to have violated a prohibition in paragraph a.1 of this award term through conduct that is either—

A. Associated with performance under this award; or

B. Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Government wide Debarment and Suspension (Nonprocurement),” as implemented by our agency at [agency must insert reference here to its regulatory implementation of the OMB guidelines in 2 CFR part 180 (e.g., “2 CFR part XX”)].

b. Provision applicable to a recipient other than a private entity.

We as the Federal awarding agency may unilaterally terminate this award, without penalty, if a subrecipient that is a private entity—

1. Is determined to have violated an applicable prohibition in paragraph a.1 of this award term; or

2. Has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in paragraph a.1 of this award term through conduct that is either—

i. Associated with performance under this award; or

ii. Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Government wide Debarment and Suspension (Nonprocurement),” as implemented by our agency at [agency must insert reference here to its regulatory implementation of the OMB guidelines in 2 CFR part 180 (e.g., “2 CFR part XX”)].

c. Provisions applicable to any recipient.

1. You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.1 of this award term.

2. Our right to terminate unilaterally that is described in paragraph a.2 or b of this section:

i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and

ii. Is in addition to all other remedies for noncompliance that are available to us under this award.

3. You must include the requirements of paragraph a.1 of this award term in any subaward you make to a private entity.

d. Definitions.

For purposes of this award term:

1. “Employee” means either:

i. An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this award; or

ii. Another person engaged in the performance of the project or program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements.

2. “Forced labor” means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.

3. “Private entity”:

i. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25.

ii. Includes:

A. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b).

B. A for-profit organization.

4. “Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).

e) Reporting Subawards and Executive Compensation Information (2 CFR Part 170).

a. Reporting of first-tier subawards.

1. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e. of this award term).

2. Where and when to report.

i. You must report each obligating action described in paragraph a.1. of this award term to http://www.fsrs.gov.

ii. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.)

3. What to report. You must report the information about each obligating action that the submission instructions posted at http://www.fsrs.gov specify.

b. Reporting Total Compensation of Recipient Executives.

1. Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if—

i. the total Federal funding authorized to date under this award is $25,000 or more;

ii. in the preceding fiscal year, you received—

(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report executive total compensation described in paragraph b.1. of this award term:

i. As part of your registration profile at https://www.sam.gov.

ii. By the end of the month following the month in which this award is made, and annually thereafter.

c. Reporting of Total Compensation of Subrecipient Executives.

1. Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first-tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if—

i. in the subrecipient's preceding fiscal year, the subrecipient received—

(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and

ii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.)

2. Where and when to report. You must report subrecipient executive total compensation described in paragraph c.1. of this award term:

i. To the recipient.

ii. By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year.

d. Exemptions

If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report:

i. Subawards,

and

ii. The total compensation of the five most highly compensated executives of any subrecipient.

e. Definitions. For purposes of this award term:

1. Entity means all of the following, as defined in 2 CFR part 25:

i. A Governmental organization, which is a State, local government, or Indian tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization;

v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.

2. Executive means officers, managing partners, or any other employees in management positions.

3. Subaward:

i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

ii. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. __ .210 of the attachment to OMB Circular A-133, “Audits of States, Local Governments, and Non-Profit Organizations”).

iii. A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract.

4. Subrecipient means an entity that:

i. Receives a subaward from you (the recipient) under this award; and

ii. Is accountable to you for the use of the Federal funds provided by the subaward.

5. Total compensation means the cash and noncash dollar value earned by the executive during the recipient's or subrecipient's preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)):

i. Salary and bonus.

ii. Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments.

iii. Earnings for services under non-equity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees.

iv. Change in pension value. This is the change in present value of defined benefit and actuarial pension plans.

v. Above-market earnings on deferred compensation which is not tax-qualified.

vi. Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000.

f) System of Award Management and Universal Identifier Requirements (2 CFR Part 25)

a. Requirement for System of Award Management

Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the SAM until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term.

b. Requirement for Unique Entity identifier Numbers

If you are authorized to make subawards under this award, you:

1. Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its unique entity identifier number to you.

2. May not make a subaward to an entity unless the entity has provided its DUNS number to you.

c. Definitions

For purposes of this award term:

1. System of Award Management(SAM) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the SAM Internet site (currently at http://www.sam.gov).

2. Unique entity identifier means the identifier required for SAM registration to uniquely identify business entities.

3. Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C:

i. A Governmental organization, which is a State, local government, or Indian Tribe;

ii. A foreign public entity;

iii. A domestic or foreign nonprofit organization;

iv. A domestic or foreign for-profit organization; and

v. A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity.

4. Subaward:

i. This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient.

ii. The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see 2 CFR 200.330).

iii. A subaward may be provided through any legal agreement, including an agreement that you consider a contract.

5. Subrecipient means an entity that:

i. Receives a subaward from you under this award; and

ii. Is accountable to you for the use of the Federal funds provided by the subaward.

g) Prohibition on Members of Congress Making Contracts with Federal Government (41 USC Section 6306)

No member of or delegate to the United States Congress or Resident Commissioner shall be admitted to any share or part of this award, or to any benefit that may arise therefrom; this

provision shall not be construed to extend to an award made to a corporation for the public’s general benefit.

h) Pilot Program for Enhancement of Recipient and Subrecipient Employee Whisleblower Protection (41 USC Section 4712)

This requirement applies to all awards issued after July 1, 2013 and shall be in effect until January 1, 2017.

a. This award and related subawards and contracts over the simplified acquisition threshold and all employees working on this award and related subawards and contracts over the simplified acquisition threshold are subject to the whistleblower rights and remedies in the pilot program on award recipient employee whistleblower protections established at 41 U.S.C. 4712 by section 828 of the National Defense Authorization Act for Fiscal Year 2013 (P.L. 112-239).

b. Recipients, and their subrecipients and contractors awarded contracts over the simplified acquisition threshold related to this award, shall inform their employees in writing, in the predominant language of the workforce, of the employee whistleblower rights and protections under 41 U.S.C. 4712.

c. The recipient shall insert this clause, including this paragraph (c), in all subawards and contracts over the simplified acquisition threshold related to this award.

B.4 Additional General Terms and Conditions

a) Research Integrity

1) USGS requires that all grant or cooperative agreement Recipient organizations adhere to the Federal Policy on Research Misconduct, Office of Science and Technology Policy, December 6, 2000, 65 Federal Register (FR) 76260. The Federal Policy on Research Misconduct outlines requirements for addressing allegations of research misconduct, including the investigation, adjudication, and appeal of allegations of research misconduct and the implementation of appropriate administrative actions.

2) The Recipient must promptly notify the USGS Project Office when research misconduct that warrants an investigation pursuant to the Federal Policy on Research Misconduct is alleged.

b) Access To Research Data

1) Recipients that are institutions of higher education, hospitals, or non-profit organizations are required to release research data first produced in a project supported in whole or in part with Federal funds that are cited publicly and officially by a Federal agency in support of an action that has the force and effect of law (e.g., regulations and administrative orders). “Research data” is defined as the recorded factual material commonly accepted in the scientific community as necessary to validate research findings. It does not include preliminary analyses; drafts of scientific papers; plans for future research; peer reviews; communications with colleagues; physical objects (e.g., laboratory samples, audio or video tapes); trade secrets; commercial information; materials necessary to be held confidential by a researcher until publication in a peer-reviewed journal; information that is protected under the law (e.g., intellectual property); personnel and medical files and similar files, the disclosure of which would constitute an unwarranted invasion of personal privacy; or information that could be used to identify a particular person in a research study.

2) These requirements do not apply to commercial organizations or to research data produced by State or local governments. However, if a State or local governmental grantee contracts with an educational institution, hospital, or non-profit organization, and the contract results in covered research data, those data are subject to these disclosure requirements.

3) Requests for the release of research data subject to this policy are required to be made to USGS, which will handle them as FOIA requests under 43 CFR 2.25. If the data are publicly available, the requestor will be directed to the public source. Otherwise, the USGS Contract Officer, in consultation with the affected Recipient and the PI, will handle the request. This policy also provides for assessment of a reasonable fee to cover Recipient costs as well as (separately) the USGS costs of responding.

c) Conflict of Interest

The Recipient must establish safeguards to prohibit its employees and Subrecipients from using their positions for purposes that constitute or present the appearance of a personal or organizational conflict of interest. The Recipient is responsible for notifying the USGS Contracting Officer in writing of any actual or potential conflicts of interest that may arise during the life of this award. Conflicts of interest include any relationship or matter which might place the Recipient or its employees in a position of conflict, real or apparent, between their responsibilities under the agreement and any other outside interests. Conflicts of interest may also include, but are not limited to, direct or indirect financial interests, close personal relationships, positions of trust in outside organizations, consideration of future employment arrangements with a different organization, or decision­ making affecting the award that would cause a reasonable person with knowledge of the relevant facts to question the impartiality of the Recipient and/or Recipient's employees and Sub-recipients in the matter.

The USGS Contracting Officer and the servicing Ethics Counselor will determine if a conflict of interest exists. If a conflict of interest exists, the USGS Contracting Officer will determine whether a mitigation plan is feasible. Mitigation plans must be approved by the USGS Contracting Officer in writing. Failure to resolve conflicts of interest in a manner that satisfies the government may be cause for termination of the award.

Failure to make required disclosures may result in any of the remedies described in 2 CFR § 200.338, Remedies for Noncompliance, including suspension or debarment (see also 2 CFR Part 180).

d) Program Income

1) If the Recipient is an educational institution or nonprofit research organization, any other program income will be added to funds committed to the project by the Federal awarding agency and Recipient and be used to further eligible project or program objectives, as described in 2 CFR 200.307(e)(2).

2) For all other types of Recipients, any other program income will be deducted from total allowable costs to determine the net allowable costs before calculating the Government's share of reimbursable costs, as provided in 2 CFR 200.307(e)(1).

e) Government Furnished Property Or Property Authorized For Purchase

Title to nonexpendable personal property acquired wholly or in part with Federal funds shall be vested in the Recipient unless otherwise specified in the award document. The Recipient shall retain control and maintain a property inventory of such property as long as there is a need for such property to accomplish the purpose of the project, whether or not the project continues to be supported by Federal funds. When there is no longer a need for such property to accomplish the purpose of the project, the Recipient shall use the property in connection with other Federal awards the Recipient has received. Disposal of nonexpendable personal property shall be in accordance with 2 CFR 200.313.

There is no non-expendable personal property authorized on this grant/cooperative agreement.

-- End of Agreement --

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